LGMA MATI Foundations – August 2012

Angila Bains

Records Management, and

Information and Privacy

The Local Government Context

Overview

Part 1: Records Management

Part 2: Freedom of Information and

Protection of Privacy Act

Part 1

Records Management

Part I: Records Management

Source: Chris Slane, Let Me Through, I

Have a Morbid Curiosity.

Part I: Learning Objectives

What is records management?

Why is records management important?

What are records?

What are our records management

responsibilities?

Records Management Mythology

“Paperless office”

“One Click” – all information at our

fingertips

Records Management = Filing

What is Records Management?

“The field of management responsible for the

efficient and systematic control of the

creation, receipt, maintenance, use and

disposition of records, including processes

for capturing and maintaining evidence of

and information about business activities and

transactions in the form of records.” ISO 15489-1 Standard

What is Records Management?

“The systematic

control of records

throughout their

lifecycle”

ARMA International

Purpose of Records Management

Serves an important administrative function by providing the right information to the right people at the right time, at the lowest possible cost to the organization.

Enables local governments to meet their obligations under Provincial legislation in BC, including FOIPPA, Local Government Act, Community Charter, etc.

Protects the organization from risk

Benefits of Records Management

Preservation of the corporate memory

Facilitates effective decision making

Reduces duplication and storage costs

Improves organizational efficiency

Facilitates access to records throughout

the corporation

Supports litigation

What are Records?

“Information created, received and maintained as

evidence and information by an organization or

person, in pursuance of legal obligations or in the

transaction of business.” ISO 15489 Standard

“Includes books, documents, maps, drawings,

photographs, letters, vouchers, papers and any

other thing on which information is recorded or

stored by any means whether graphic, electronic,

mechanical or otherwise.” FOIPPA, Interpretation Act

Transitory Records

Managed differently from “official” corporate

records

Are temporary in nature and do not provide

evidence of business transactions

Do not have long-term value to the

organization

Can be deleted or destroyed by any employee

when no longer needed

Electronic Records

No distinction in law or regulation

between record formats

Term generally applies to:

– Documents or records created, used or stored

in a digital medium

Tools, technologies and methods

Most pressing records management

issue today

Why Do We Keep Records?

Primary values

–Administrative/operational

–Financial

–Legal or regulatory

Secondary values

–Historic

–Research

Managing Corporate Records

All records are to be managed according to the corporate classification system and retention schedule

– Except transitory records

All records created or received by employees during the course of their work duties are the property of the local government, not the employee

– Includes e-mail

Classification System and Retention

Schedule

Is the foundation of any RM program

Most local governments in BC use a

variation of the LGMA Records Manual

– First published in 1988 by Municipal Officer’s

Association (MOA)

– Revised in 1994 after FOIPPA introduced

– Completely revised in 2006

– Fourth Edition in 2012

Classification System

Represents record series which share common

characteristics and retention periods

Could be alphabetic, numeric, alpha-numeric

Applies to records in all forms (electronic,

paper, micrographic, etc.)

Main purpose is to facilitate retrieval, retention,

and context

Retention Schedule

Determines how long a record is to remain

active, semi-active, and when it is to be

destroyed or permanently retained

– Some retentions are defined by legislation

– Local governments must determine other retention

requirements based on administrative, operational and

legal requirements

Provides the legal basis for destroying records

– Records “frozen” for litigation and FOI requests

Employee Responsibilities

Create, receive and use records in your work

– Avoid subjective and potentially embarrassing

comments (can be released under FOIPPA)

Ensure your records (physical and electronic)

are managed according to the corporate

classification system and retention schedule

– This includes e-mail!

Destroy transitory records regularly

Part 2

Freedom of Information

and Protection of Privacy

Part II: Freedom of Information and

Protection of Privacy

Source: Chris Slane, Let Me Through, I

Have a Morbid Curiosity.

The purpose of the FOIPPA

How we process FOI requests

What information we can withhold

Charging fees

Our duty to protect privacy

Role of the Information & Privacy

Commissioner

Part II: Learning Objectives

The Purpose of the FOIPPA

To make public bodies more accountable

to the public, and

To protect personal information

The FOI process is a “last resort”

Routine requests vs. FOI requests

Fees are not to be a barrier to access

Exercise #1

WHAT’S A FOIPOP?

How FOI Requests are Processed

Request must be in writing

Must be for “records” under the “custody

or control” of a “public body”

FOI Coordinator processes request

30-day response deadline

Fee estimates

Exceptions to Disclosure

1. Deliberations of an closed meeting

2. Advice or recommendations

3. Solicitor-client privilege

4. Harm to law enforcement

5. Harm to intergovernmental relations

6. Harm to public body’s government

financial interests

Exceptions to Disclosure (cont)

7. Harm to heritage conservation

8. Information that will be released within

60 days

9. Harm to individual or public safety

10. Harm to third party business interests

11. Harm to personal privacy

Exercise #2

THE EMAIL FROM HELL

From: Manager 1

To: Manager 2

Subject: John Smith - return to work

John came in to talk to me this morning. He was limping and moaning

about his sore knee. What a performance! I should have sold tickets.

Anyway, I don’t believe him.

I think we should seriously consider covert surveillance of this guy. If

we can catch him dancing around, we can nail him.

As you know, I caught him smoking pot a couple of days ago. He

claimed it was for the pain (!) I informed the police and they’re going

to investigate. According to HR, the lawyer says we don’t have any

basis to discipline him for that. Figures....

By the way, please destroy this email after you read it.

Protection of Privacy

Definition of personal information:

“Information about an identifiable individual”

Protection of Privacy

Five Principles:

– Collection

– Use

– Disclosure

– Protection

– Retention

– Accuracy

Appeals and Complaints

B.C. Information and Privacy Commissioner

Typical grounds for appeal/ complaint:

– Improperly withholding information

– Conducting an inadequate search

– Using fees as a barrier to access

– Failing to meet deadlines

– Denying access solely to delay release

– Interpreting requests too narrowly

– Violation of privacy

Points to Remember

Assist the applicant

Remember requester psychology

All records are potentially public

Don’t sit on FOI requests

Protect personal information

It’s all about integrity

Exercise #3

WHAT DO YOU KNOW

ABOUT FOIPOP?

Question 1

Are records you keep at home subject to

FOI requests?

Question 2

Your local government has hired a

consultant to prepare a report. Are the

consultant’s records subject to FOI

requests?

Question 3

Your local government has been informed

of a serious structural weakness in a

multi-story strata complex. Can this

information be released?

Question 4

True or false? We have to respond to

requests no matter how obnoxious the

requester.

Question 5

Can the local government disclose

names of business owners? How about

property owners?

Question 6

A citizen sends a confidential letter to

your supervisor complaining about you.

Do you have the right to see the letter?

Question 7

A company has sent you sales

information in a letter marked “Strictly

Confidential”. Would releasing this

information be an invasion of privacy?

Question 8

As a local government employee, is your

name, address and salary public

information?

RM and FOI Resources for Local

Governments

Local Government Management Association

www.lgma.ca

– Records Management Manual for Local Government

in British Columbia, Third Edition, 2006

– Freedom of Information and Protection of Privacy Tool

Kit, 2007 (currently being revised)

ARMA International www.arma.org

Office of the Information and Privacy

Commissioner for BC www.oipc.bc.ca

LGMA MATI Foundations – August 2012

Angila Bains

Records Management, and

Information and Privacy

The Local Government Context